- Unknown (Jersey City, NJ)
- Vice President, AML Compliance About the Company Digitally-driven brokerage & wealth management platform Industry Financial Services Type Public Company Employees ... About the Role The Company is seeking a VP/AML Compliance to lead a dedicated team in monitoring and...ideal candidate will have a Broker-dealer experience, a FINRA Series 7 License, and a Series 24… more
- Unknown (Jersey City, NJ)
- Vice President, AML Compliance About the Company Popular investment & trading platform Industry Financial Services Type Privately Held Employees 1001-5000 About the ... Role The Company is seeking a VP/AML Compliance to lead a dedicated team in monitoring and...and inquiries. Applicants must have broker-dealer experience, a FINRA Series 7 License, and a Series 24… more
- Unknown (New York, NY)
- Head of Fixed Income Compliance About the Company Globally recognized financial services firm Industry Financial Services Type Public Company Founded 2016 Employees ... is in search of a Head of Fixed Income Compliance to join their dynamic team. The successful candidate...position at the company will have a college degree, Series 7 and 24 licenses or the ability to… more
- Unknown (New York, NY)
- Senior Vice President, Registered Funds Compliance About the Company Top-tier provider of investment management, research & trading services Industry Financial ... search of a Senior Vice President for Registered Funds Compliance . This executive-level position is pivotal in overseeing the...1940, SEC Rule 482, and FINRA Rule 2210. FINRA Series 7 and 24 licenses are mandatory. The role… more
- Unknown (El Paso, TX)
- Chief Compliance Officer About the Company Pioneering healthcare solutions provider for the agriculture industry Industry Hospital & Health Care Type Privately Held ... About the Role The Company is seeking a Chief Compliance Officer to join their team. The successful candidate...environment, as well as a clean U-4 with current Series 7, 24, 53, 99, and 66 licensing. The… more
- Unknown (Boston, MA)
- …finance teams. As the company is poised for significant expansion and a forthcoming Series B funding round, the CFO will be responsible for building and nurturing ... finance team. Experience in leading financial modeling, tax, and compliance processes, as well as a proven track record...track record in delivering successful funding rounds, particularly in Series B and beyond, are highly valued. An MBA,… more
- Unknown (Jacksonville, FL)
- …in overseeing the financial management, operational performance, and regulatory compliance of its self-clearing proprietary broker-dealer and affiliates. The ... operational excellence, ensuring accurate financial reporting, and maintaining full compliance with regulatory and accounting standards. Key responsibilities include… more
- Unknown (Columbus, OH)
- …and current investors, maintaining a personal book of business, and ensuring compliance with securities laws and regulations. This role requires a professional with ... an entrepreneurial spirit, be a self-starter with a growth mindset, and possess the necessary Series 7 (or 82) and 63 licenses. The VP will work closely with the CEO… more
- Unknown (Chicago, IL)
- …in alternatives, mutual fund, or SMA sales within the wealth channel, and hold FINRA Series 7 and 63 licenses. A proven track record of success in a financial sales ... to 80% are essential. The role also involves adhering to compliance guidelines, managing administrative responsibilities, and conducting client seminars and events.… more
- Unknown (Burlingame, CA)
- …to define and execute the financial roadmap, with a focus on the transition from post- Series C to IPO. This is a key leadership position that requires a candidate ... forecasting, budgeting, and analysis, as well as overseeing the financial reporting and compliance functions. The role demands a professional with a high level of… more
- Unknown (New York, NY)
- …This hands-on role is pivotal in managing the firm's financial activities, ensuring compliance with GAAP, SEC, and FINRA regulations, and being deeply involved in ... business accounting, or finance. A Certified Public Accountant (CPA) license and FINRA Series 99 license are required. The ideal candidate will have a strong… more
- Unknown (San Diego, CA)
- …planning and fundraising; play a key role in future fundraising rounds (Seed, Series A); implement all accounting, payroll, and expense systems from scratch; and ... budget. Operations: Build the operational playbook for scale; oversee legal and compliance in partnership with counsel; and establish our initial People Operations… more
- City of Toledo (Toledo, OH)
- …Code Compliance Inspector I is the entry-level class in the Code Compliance Inspector series that allows the incumbent to develop journey level knowledge ... Code Compliance Inspector I Print (https://www.governmentjobs.com/careers/toledooh/jobs/newprint/3847211) Apply Code Compliance Inspector I Salary $60,001.76 -… more
- RTX Corporation (Sacramento, CA)
- …for conducting second party QMS audits across RTX business units to ensure compliance with 91XX series , ISO9001, and other relevant standards. This role ... + Plan, lead, and/or conduct second party QMS audits for compliance with the 91XX and ISO series of standards, RTX and business unit policies & procedures, and… more
- Charles Schwab (Westlake, TX)
- …with a high degree of accuracy and detail + Professional licensing and/or compliance certifications (eg FINRA Series 7, 24, Investment Adviser Representative, ... "challenge the status quo" and transform the finance industry together. In Compliance , we help our business partners achieve their strategic priorities by promoting… more
- Seattle Children's (Seattle, WA)
- …ensuring effective communication and implementation of initiatives. Represent the Professional Compliance Officer as needed. SERIES CONCEPT: A program is ... Under the direction of the Professional Compliance Officer (CO), this role will develop and...will develop and oversee key elements of the professional compliance program for Seattle Children's employed and contracted providers,… more
- Truist (Richmond, VA)
- …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series… more
- Air Mobility Command (Mcchord AFB, WA)
- …Administrative and Management Positions, General Inspection Investigation Enforcement and Compliance Series 1801. SPECIALIZED EXPERIENCE: Applicants must have ... at least one (1) year of specialized experience at the next lower grade GS-12, or equivalent in other pay systems. Examples of specialized experience includes: (may have been obtained in the federal service, military, or private sector) comprehensive knowledge… more
- Amazon (Culver City, CA)
- …professional to drive financial innovation in the world of original series production. Your analytical expertise will directly influence the creative decisions ... responsibilities Build and maintain databases and automated workflows to support Original Series forecasting, reporting, and analysis. Dive deep into data sources to… more
- MTA (Brooklyn, NY)
- Staff Analyst Series - General Law Job ID: 13897 Business Unit: MABSTOA Location: Brooklyn, NY, United States Regular/Temporary: Regular Department: NYC Transit ... Authority Date Posted: Dec 5, 2025 Description Job Information Staff Analyst Series (Law) First Date of Posting: 12/2/2025 Last Date of Posting: Until Filled… more
